SEC Examinations of RIAs and Broker-Dealers under the ReTIRE Initiative This is my 38th article about interesting observations concerning the Department of Labor’s fiduciary rule and exemptions. These articles also cover the DOL’s FAQs interpreting the regulation and exemptions. As explained in my last post (Angles #37), the SEC’s Office
SEC Retirement-Targeted Examinations This is my 37th article about interesting observations concerning the Department of Labor’s fiduciary rule and exemptions. These articles also cover the DOL’s FAQs interpreting the regulation and exemptions and related developments in the securities laws. In 2015, the Office of Compliance Inspections and Examinations (OCIE) of
Retirement Advice and the SEC While the DOL’s fiduciary regulation and prohibited transaction exemptions have occupied everyone’s attention over the last year, other regulatory agencies have been focusing on retirement plan issues, as well. For example, in its “Examination Priorities for 2017,” the SEC has indicated that it will focus
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